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University of OklahomaNorman, Health Sciences Center, and Tulsa
http://www.otd.ou.edu
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Regina K. McNabbTechnology Transfer
AdministratorNorman, HSC, and Tulsa
Campuses405/325-3800
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Mission Statement
The mission of the University of Oklahoma
Office of Technology Development (OTD) is to stimulate the creation of intellectual property and manage the resulting assets in support of the mission of the University of Oklahoma.
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What isIntellectual Property?
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KNOW-HOW
TRADE SECRETS
Almost any subject matter qualifies, but must be SECRET
COPYRIGHTS
Ads, Labels, Brochures, Software, Manuals
TRADEMARKS
Words, Slogans, Logos, Shapes
PATENTS
Machines, Products, Processes,
Compositions
DESIGN PATENTS
Ornamental Features of Manufactured Products
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Intellectual PropertyPatent – Form of protection provided to an
Invention; Novel, Non-obvious, UsefulCopyright – Form of protection provided to
authors of “original works”Trademark – Form of protection for a word,
name, symbol, or device that is used in trade of goods
Trade Secret – Form of protection to not share outside of company/university
Know-How – The expertise of the inventor(s)
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Life of a Technology
• Discovery Process• Disclosure Process• Triage/Assessment Process• Protection Process• Commercialization Process
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Discovery Process• Identify Invention – Inventor(s)
• Document Discovery – Lab Notebooks
• Prior Art Search – Inventor(s)
• Publications?
• Question how novel is the idea?
• Official Disclosure to OU – Disclosure Form
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Technologyfrom
Sponsored Research
Technologycreated from
Basic Research
Disclosure Form
Completed by Inventor(s)Answers questions on technology
Intellectual Property (IP)www.otd.ou.edu
Office of Technology DevelopmentUniversity of OklahomaLife of a Technology – Phase I
Filed with the
Office of TechnologyDevelopment (OTD)
Identify Identify Identify Identify Identify Identify Identify
Identify Identify Identify Identify Identify Identify Identify
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University of OklahomaIntellectual Property Policy
• Ownership• Disclosure• Processes• Royalties
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University of OklahomaRoyalty Distribution
• Inventor(s) 35% (before exp.)• Expenses deducted from balance• College/Department 31%• President’s Office 7.5%• Vice Pres. for Research 7.5%• OTD 23%• Growth Fund 31%
Percentages based on Royalties
received less Inventors’ share and Expenses.
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Disclosure Process
• OTD website: www.otd.ou.edu
• Completion of Disclosure Form
• Short Form/Full Disclosure
• Disclosure Form signed and sent to OTD
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TriageTechnology
Office of Technology DevelopmentUniversity of OklahomaLife of a Technology – Phase II
3rd PartyValidation
MarketingAnalysis
InventorContacts
ResolveOwnership
Assess Assess Assess Assess Assess Assess Assess Assess Assess
Assess Assess Assess Assess Assess Assess Assess Assess Assess
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Triage/Assessment Process• Decision Time
– Market under a Non-Disclosure Agreement– Pursue Protection– Defensive Publication
• Questions to Consider – Publication Bar?– Apply for patent protection?– Copyright/Trademark registration?– Keep as Trade Secret?
• Commercialization Aspects– Is this a platform technology or not?– Do we want to start-up a company?– If so, are the requisite elements available?
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Office of Technology DevelopmentUniversity of Oklahoma
Life of a Technology – Phase III
PlatformTechnology
SingleTechnology
NoCommercialization
PublishReturn to Inventor
Start Up CompanyManagement
Resources
License toFor-Profit Company
Protect IP –Patent
Trade Secret
Action Action Action Action Action Action Action Action Action
Action Action Action Action Action Action Action Action Action
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Technology Protection
• Patent
• Copyright
• Trademark
• Trade Secret
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Protection Process
Determination of protection needed:- Patent application - protection of an invention;- Trademark registration - protection of a word,
phrase, symbol or design;- Copyright registration - protection of an
original artistic or literary work; or- Maintenance of a Trade Secret.
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Patent and Trademark Office
• Article 1, Section 8 of the United States Constitution provides the basic role of the Patent and Trademark Office (PTO). It has remained the same for over 200 years: to promote the progress of science and the useful arts by securing for limited times to inventors the exclusive right to their respective discoveries.
• Any person who “invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent” subject to the conditions and requirements of the law.
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Patent Process• Provisional Patent
– Benefits• Low Cost• Fast Protection against Publication
– Negatives• Provides Limited Protection• Only what is described in the patent application is
covered• Good for One (1) Year
• Regular Patent – Utility, Design, Plant– Claims– Prior Art
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Patent Process, cont.• Timing Issues
– Prior Art– Public Disclosure or Use– Publication(s)
• Patent and Trademark Office– What you can expect– www.uspto.gov– Patent Attorney/Agent
• Costs– Provisional: $1-2k– Regular (Utility): $10-20k– Foreign PCT: $3-4k Over 50 countries– Each Country: $2-10k Plus Translations
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Trademark
• A trademark is a word, phrase, symbol or design, or a combination of words, phrases, symbols or designs, that identifies and distinguishes the source of the goods of one party from those of others.
• A service mark is the same as a trademark, except that it identifies and distinguishes the source of a service rather than a product.
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Trademark Registration• Establishes rights in a mark based on
legitimate use of the mark
• Provides notice to the public
• Legal presumption of the registrant's ownership of the mark and the registrant's exclusive right to use the mark nationwide on or in connection with the goods and/or services listed in the registration
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Trademark Registration, cont.• Ability to bring an action concerning the mark in
federal court
• Use of the U.S registration as a basis to obtain registration in foreign countries
• Ability to file the U.S. registration with the U.S. Customs Service to prevent importation of infringing foreign goods
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Trademark Registration, cont.• TM, SM - Any time you claim rights in a mark, you may
use the "TM" (trademark) or "SM" (service mark) designation to alert the public to your claim, regardless of whether you have filed an application with the USPTO.
• ® - You may use the federal registration symbol "®" only after the USPTO actually registers a mark, and not while an application is pending. Also, you may use the registration symbol with the mark only on or in connection with the goods and/or services listed in the federal trademark registration.
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Trademark Registration, cont.
• United States Patent and Trademark Office -www.uspto.gov
• File your application directly over the Internet - through Trademark Electronic Application System (TEAS) at http://www.uspto.gov/teas/index.html
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Trademark Registration, cont.
• Can be filed by mail, as well; no faxes
• No attorney or agent needed
• Can be renewed on line
• Can be renewed forever
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Copyright• Protects “original works of authorship”, such as
writings, music, and works of art that have been tangibly expressed - including literary, dramatic, musical, artistic, and certain other intellectual works, both published and unpublished
• The 1976 Copyright Act generally gives the owner of copyright the exclusive right to reproduce the copyrighted work, to prepare derivative works, to distribute copies or phonorecords and to perform or display the copyrighted work publicly
• U.S. Code Title 17
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Copyright Registration• United States Copyright Office (not PTO) –
Library of Congress - http://lcweb.loc.gov/copyright/
• Copyright Registration lasts for the life of the author plus 70 years
• Protects the form of expression rather than the subject matter of the writing
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Copyright Registration, cont.• Registration requires a completed application
form, the filing fee, and a “sample” of the work mailed to the Library of Congress Copyright Office
• Copyright protection subsists from the time the work is created in fixed form. The copyright in the work of authorship immediately becomes the property of the author who created the work. Only the author or those deriving their rights through the author can rightfully claim copyright
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Copyright Registration, cont.
• In the case of works made for hire, the employer is considered to be the author
• Mere ownership of a book, manuscript, painting, or any other copy or phonorecord does not give the possessor the copyright
• Copyright registration is a legal formality intended to make a public record of the basic facts of a particular copyright
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Copyright Registration, cont.
• Copyright law provides several advantages for registration– Registration establishes a public record of the
copyright claim– Before an infringement suit may be filed in court,
registration is necessary for works of U. S. origin– If made before or within 5 years of publication,
registration will establish prima facie evidence in court of the validity of the copyright and of the facts stated in the certificate
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Copyright Registration, cont.• Advantages of registration, cont.
– If registration is made within 3 months after publication of the work or prior to an infringement of the work, statutory damages and attorney's fees will be available to the copyright owner in court actions. Otherwise, only an award of actual damages and profits is available to the copyright owner
– Registration allows the owner of the copyright to record the registration with the U. S. Customs Service for protection against the importation of infringing copies
– Registration may be made at any time within the life of the copyright
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Trade Secret
• Information that companies keep secret to give them an advantage over their competitors – can be just about anything
• Disclosed technology is not shared outside the parameters of the company or the University (in our case)
• The formula for Coca-Cola is the most famous trade secret
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State of Oklahoma
State Questions 680 and 681
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Sponsored Research
• Companies – For-Profit
• Non-Profit Organizations – ACS
• State Entities – ODOC
• Federal Agencies – NSF, NIH, NOAA
• Office of Research Services
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Federal Regulations
• United States Code– Title 17 – Copyrights– Title 35 – Patents
• Sections 200 to 212 – Patent Rights in Inventions made with Federal Assistance
• 37 CFR 401
• Bayh-Dole Act of 1980
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Application of Intellectual Property Using Federal Funds
Bayh-Dole Act of 1980• Provides Grantee Organizations/Contractors title to
Inventions arising from federal funding agreements• Requires pursuit of technology transfer opportunities• Grantee/contractor must meet commercialization
milestones• Requires reporting of all inventions and patents that
involve federal funds• Government retains limited rights to invention• Royalty-free license to practice the invention
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Invention Reporting Requirements of Grantee/Contractors – University
Administrative Requirements (per 37CFR 401.14)
• Implement Employee Agreements – as needed• Disclose Each Invention – within 60 days• Resolve Election or Waive of Title – within 2 years• File Regular Patent – within 1 yr. of election• Provide License to the Govt. – upon title election• Indicate Govt. Support on Patent – with patent appl.• Share Royalties With Inventor – when available• License Small Businesses – where feasible• Product Manufacturing in U.S. – required• Report on Invention Utilization – annually
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OU/NSSL Agreement
DOC/NOAA-OU Cooperative Agreement
University of Oklahoma’s Treatment of IPwith Respect to NOAA Weather Partners
(University Memo)
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Points of IP Treatment
• Government – non-exclusive, irrevocable, non-transferable, royalty-free license for governmental purposes
• OU – retains rights, title and interest in and to the IP if OU employees are sole creators
• Task I and II inventions – Joint Inventions owned by OU and NOAA/DOC; either rights may be transferred or assigned
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Points of IP Treatment, cont.
• Joint Inventions – Revenues shared by inventorship
• Copyrights – Government entities cannot initiate; OU will initiate copyright and provide a mechanism to transfer a portion of the joint copyright to the Government
• CRADA’s – OU may negotiate a license with the 3rd party where 3rd party would receive same rights as if made by Gov’t employee under CRADA
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Results
• Agreements– Licenses– Sponsored Research Agreements
• Royalties
• Funded Research
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Effects on NSSL Employees
• OU Employees– Must notify OTD in accordance with IP Policy– Benefit of Royalties and Sponsored Research
• Federal Employees– Benefit of Royalties and Sponsored Research– Recognition in patents and copyrights
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Regina K. McNabbTechnology Transfer
AdministratorNorman, HSC, and Tulsa
Campuses405/325-3800